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EOYUTLE/NUMBER/VOLUAE : The Examination of the

_ Bona Fides of a KGB Defector

a

1 Document - dated February. 1968

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; Ce _ _ ok ce : om . TS No. 197124 -

Copy no 10g /


14-D0009

TOP SECRET

1. Attached is copy number 10 of the February 1968
CIA study entitled "The Examination of the Bona Fides of

a KGB Defector - Yuriy I. Nosenko."

2. Please note that the CIA finds this study to be

inaccurate in many important details and to contain the

results of faulty judgements leading to unfounded conclusions.

3. We have deleted certain portions of this study
containing information which bears on the security of

ongoing, viable CIA operations, or is related thereto.

4. We request return of this study when it has served

your purposes.

TOP SECRET


The Examination of the Bona Fides
of a KGB Defector

~ Yuriy L NOSENKO

February 1968

0904.267

TS No. 197124

Top Secret Copy 10

14-0000

Top Secret

CONTENTS
PAGE
Introduction ; / 1
Summary of Case . 3
I FOUNDATIONS OF NOSENKO'S CLAIMS : 11
NOSENKO's Statements About Himself 11
Soviet Officials' Statements . 20
The Product of NOSENKO's Debriefing 21
Positive Intelligence Information 21
Counterintelligence Information 22
Significant KGB Operations Not
Directly Related to NOSENKO's
Claimed Service 24
“The KGB Agent in Paris"
(sgt. ®e8et$ounson) 24.
"SASHA" (Identity Unknown) 28
"The KGB Agent in the British Admiralty" .
; a , (William VASSALL) 30
The KGB Audio Attack on the West German
oe , ; Embassy 31
"ANDREY" (Dayle W. SMITH) a 33
Edward Ellis SMITU . . 37
II EXAMINATION OF NOSENKO'S BONA FIDES , : 41
Notes for the Reader ; 41
III PRE-KGB BIOGRAPHY — a 45
Birth to 1945 ae ro “45
Moscow Institute of International Relations
; ; (1945-ca. 1950) 48.
Naval RU Service (Ca. 1951-ca. 1953) ; 49
Summary: and Conclusion ; 58

6961268
() TS No. 197124
Top Secret Copy 10

14-00000

Top Secret

CONTENTS

PAGE
VI SEVENTH DEPARTMENT (June 1955-January 1960)
(Cont.)
‘Operational Activities (1955- -1958) 113
Entrapment of [MALIA 0G 114
Recruitment of {BURGI| (6 115
Attempted Recruitment _of GEHRCKENS) 06 121
Contact with Cane ang and|BIRSE) 06,06 122
Recruitment of (SUNDAR) pb 123
‘Travel to London (1957 a 1958) ; 124
Operational Activities (1958-1960) 127
Recruitment of {HARRIS pe oo 128
Compromise of AFT) 3 , 129
Recruitment of [DREW bg 130
Recruitment of [LUKIS| 66 131
Recruitment of {WILBY; 04 , 1310
Recruitment of [TAYLOR] 66. 132
“Recruitment: of (MERTENS| OL 133
Compromise of (BARRETT [4 134
Compromise of (WILLERFORD]O4 136
Recruitment 0 RIPPEL) j 137
Lee Harvey OSWALD 143°
Summary ; 144
Knowledge of other Seventh Department en
American Tourist Operations 145
' Seventh Department Counterintelligence
Operations (1955- -1960) 146
NOSENKO's Information 146
Information Furnished KGB by George BLAKE ; 148
KGB Tourist Study . 149
Summary and Conclusion | 150
VII AMERICAN EMBASSY SECTION OF AMERICAN DEPARTMENT .
(January 1960-January 1962) 151
Deputy Chief of Section 151
Transfer to Section 152
Predecessor as Deputy Chief . 153
Responsibilities ‘ 154
Deputy and Occasional Acting Chief 156
General Supervisory Duties. | 159
nN
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(442). TS No. 197124
Top Secret Copy 10

idk

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4 - Oo , 7 Tep Secret

CONTENTS
PAGE
’ VIL AMERICAN EMBASSY SECTION OF AMERICAN DEPARTMENT
- (January 1960- -January 1962) (Cont. )
Cryptologic Attack on Embassy Communications 236
' Knowledge of CIA Personnel within Embassy 240
Suspected CIA Officers — 241
Unsuspected CIA Officers 244
Personal Handler of Agents 248
Temporary Assignments Abroad 251
Planned Travel to U.S, 251
Travel to Cuba (November-December 1960) 252
Travel to Bulgaria (April-May 1961) 254
Compromise of ]LUNT NOG 256
Promotion and Transfer to Seventh Department
. (January 1962) 259
Summary and Conclusion 261
“VIII SEVENTH DEPARTMENT (January 1962~January 1964) - 263
Introductory Comment 7 263
Chief of the American-British Commonwealth :
Section. (January 1962-July 1962) 265
NOSENKO' s Agents ; 265
Operational Activities ; 268
Entrapment of JOHNSON OG ; 268
Entrapment of JONES| db ; 272
Recruitment of BIENSTOCK\|D6 | : 273
Travel to Geneva (March- ~June 1962) 275 r
- Purpose of Trip 275
Investigation of SHAKHOV 276
Security Escort for Delegation ; 278
Visits to KGB Legal Residency . 279
KGB Officers within Soviet Delegation 279
Association with Other Soviets , 280.
Supervising Case Officer for BELITSKIY 282
Contact with CIA 286
Operational Activities (continued) : 288
Attempted Recruitment of (BRAUNS) 0¢ 288
Summary and Conclusion 290°
6001270
(v) TS No. 197124 ¢
Top Secret Copy 10

kia

‘Yep Secret.

. CONTENTS

ee Se, | | race
VEIT, (SEVENTH "DEPARTMENT Ganuary 1962- ~January. 1964),
wR (Cont. d- So |

- Deputy chiet of Seventh: Department oe ; a

(July. 1962- ~January 1964) a oe 8 2G7

_ KGB. ‘Operations. ; ; ; 2 . 292°

' Reeruitment of: SVENCHANSKIZ}06 = |. 292 E

‘Investigation of § SLESINGER NL oo.) 293 . ;
Arrest and Interrogation of* KOTEN| OG 5. 295) | : B

GRU. Agent (SHUBIN{OS - _— . 296)

“\ Aprest of BARGHOORN ~*~ _ Se 298.

upUavestdgation of OSWALD _ oO 303.

°. Residence in USSR .- a - . 303

| Request: to Return to. USSR. .-)- . 305.

“ Post=Assassination Review of KGB File Se B07 |

- The: CHEREPANOV. Papers: ue ; . 309

“Contents : oe 314

; -NOSENKO's Travel Document ~ 315.

: Return. to Geneva (January February 1964) . 316.

“Purpose of Trip = . So. B17.

“ Visits to KGB Legal ‘Residency . oh 318 .

“Availability ‘for Meetings with: CIA: . 318.

“NOSENKO's Written. Notes ; os . 319”

“NOSENKO! s. Defection 7 A 3208.

Knowledge, of Other, ‘Seventh Department a Cs,
: ‘Qperations ©... 325.
‘Operational actiyities “(July .1962-. eo
Bee, _ January 1964) Co 326.0
KGB ‘counterintelligence Operations Among... 9°50.
- . American Tourists - 326
“Information” “Furnished | the KGB by | ona ee
a George BLAKE =... 9°: - 327.
RGB study of, American: ‘Intelligence a es
: “Tourist: Operations Sy B27,
“NOSENKO! ‘s “Information. eo, : 380
“Summary wee a oo
Summary and Conclusion ey oo 331

(vi) le
| TS No. 197124 ©
‘Top Secret PY

a: On a oe ee oe -j = =


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‘noe

Top Secret

CONTENTS

PAGE

IX OTHER ASPECTS oF NOSENKO'S CLAIMED KGB SERVICE 335
Relationship with General GRIBANOV 335
Communist Party Status ° 338
Knowledge of KGB Forms and Procedures 342
Awards and Decorations 345
Sourcing oo 349

Ranks ; 350

X PSYCHOLOGICAL AND PSYCHIATRIC ASSESSMENT ' 355
XI SUMMARY AND CONCLUSIONS: NOSENKO'S BONA FIDES 357
bss

Annex B - Summaries of Cases Not Examined in Text 399

Index of Personalities 437

tr

GUC 2-5
(vit) TS Ne. 197124
Top Secret Copy 49

7 Top Secret |

. Introduction

‘The’ judgment™ of NOSENKO' s ‘bona. fides. entailed the
distillation ‘of the’ -huge volume of coun counterintelligence
‘-information ‘assembled in connection with his case,. including
the product. of.his lengthy interrogations, the analysis of .
KGB _ operations’ which he related, the results of file checks
of: thousands ‘of. individuals: involved, comparison of his’
assertions’ against. ‘collateral | “information from all sources
and with. counterintelligence’ records on: the KGB and related |
matters... The-examination herein réduces this volume. on
materia -o:'"manageable: proportions,.to essential. elements~
of NOSENKO a) ‘claims ,- in ‘order to permit. comparison. of his.
statements with matters: of known fact and to permit appli-
cation: of: ‘reasonable: judgment. Conclusions are drawn from
the- examination- of each major period: in his: claimed :.".-
“biography. The’ final-conclusions - répresent. the. aggregate: .
ef: conclusions “independently drawn from the examination of”
each major: period in. _ his. claimed’ | biography. Fe Boe

6004273

Top Secret ; * Copy 1.0

TS No. 197124


Top Secret

CONTENTS -.

IV KGB ENTRY (eae 1953),

“Date. ‘of Entry. ae ods ete 62
Role of General. KOBULOV. Ce 64
“Eligibility, es TS 67
.. Processing for: Entry , ea Co 68
Initial. Service De Bs 70
Other Aspects Relevant to KGB Service oe ee FD
Summary and.” Conclusion 7 ee 7 me , FAS
-_ Vv "AMERICAN EMBASSY ‘SECTION OF AMERICAN | ‘DEPARTMENT _
me . “(eas 1953- ~June 1955) 75
Operations’ ‘Against’ ‘American Correspondents
-KGB Files. ... -: 77
|. ‘NOSENKO's ‘Agents ; ; ; : 78
‘Operations: Against UU. S$. Army. Attache Personnel : 81
_Custody of Case Files a os ; an - ' 83
NOSENKO's Agents... __ Doe 84
': NOSENKO's* Targets” : N _ 87.
aa UICKELSON OC. 87
- (MEARNS\. 0 88
“TRICHARDS) a 890
FELCHLIN}D( 90
[BENSON) “D6... oe 93
 ASTROUDL-DS 93°
© (MULEJOOn 06, 66, van ry
<~ [BENSON, MULE” and “sino ® ‘Expulsion rr Coe 7
5 (EARDELL ay ae “97
/¢— (WAN LAETHEM 6. a a OT
Additional Reporting’ Bee, Be 5 99
Summary and. Conclusion fe eeean gg

4

OVE, “SEVENTE: DEPARTMENT | (ine 1955- “January 1960) yon

Introductory | Comment’ so i rr Bo ee te 104

‘ NOSENKO's Agents To _ ee 104 |

' Soviet Citizen Agents i Mo 104
. Homosexual Agents YEFREMOV and VOLKOV «= ws 110°.
- ‘Summary . 7 an . 112-00

“Ts No. 197124

(44)

Top Secret | pon Copy ek


Top Secret
CONTENTS
Introduction. .*'.
ro Samay oF Chae

ot FOUNDATIONS OF, NOSENKO' S CLAIMS,

" NOSENKO's ‘Statements About liimself
Soviet Officials' Statements.
‘The. Product of NOSENKO's: Debriefing
, Positive Intelligence Information
“Counterintelligence Information
Significant KGB Operations Not ©
' Directly Related.to NOSENKO' s
Claimed Service
- "The. KGB Agen in Paris
“(see R Phe bonarony
SASHA" - (Identity Unknown)

a (William VASSALL)
The KOB- ‘Audio. Attack on the West German

. “ANDREY". (Dayle: W. ‘SMITH
: Edward Ellis. SMITH -

“IL | EXAMINATION. OF NOSENKO! s BONA FIDES_

oe Notes for the. ‘Reader a

TEE PRES -KGB. BIOGRAPLY. a
Birth. to: 1945: te

‘Waval’ RU Service. (ca. 1951-ca. 1953) °
; Summary. and Conclusion _

@

*. "The KGB Agent in the British Admiralty".

Embassy oe

PAGE.

. un

ll”
29
21
21.
22.

24.

24

28

. 30

31

33°
37

41

Al.

45

eee *.)
Moscow, , Institute | of International Relations: ©... |
(1945-ca. 1950). -

48
49.

58

GI0L 268
TS No. 197124

~ Top Secret oe _ : Copy 10 |

: _. Fep Secret 7

. Summary of Case —

i

‘5. he “NOSENKO case opened.on 5 June 1962:in the corridors
“of the Palais des Nations in Geneva during the United Nations
-Disarmament Conferénce. A Soviet official approached an |
‘American diplomat with the suggestion. that they get together
‘for astalk the following day. The diplomat advised CIA.of |
[the appointment, explaining that he thought the approach: so
“unusual that. it might be an offer of cooperation or defection...’
) he | to be’ Yuriy Ivanovich NOSENKO,
a\member of the Soviet Disarmament Delegation... re

- Later’ meeting with the American diplomat, the Soviet:

. : it .to a fo ensure ‘the:-
23) Security “of the Soviet delegation.’ He knew that the American
had previously’ served in Moscow and erroneously believed that.
~he was the "American Rezident" in Geneva. NOSENKO stated. .
“that, he needed approximately 900. Swiss francs: immediately “to .
‘cover. KGB operational’ funds which he had squandered on.
. Liquor and a prostitute’ in Geneva. He offered for’ this amount
“to sell two items of information-to American: Intelligence. . 7
' These were the identity of a fo ! ’
"in Moscow who was a KGB agent’"near ciphers" in the Washington
area, and the identity of a Soviet in Moscow who, although —..”
ostensibly a CIA agent, was’ actually controlled by, the. KGB. .:
“In reply, the American’. explained that he was not an intelli--
“gence officer, but that.he could place NOSENKO in contact
with. an appropriate U.S. official in Geneva later that, same |

fehouse in. Geneva. _ Describing
d in operations against the  .
against tourists and other” _
NOSENKO told the CIA officer .
d repeated his offer to sell” |

' . travellers to the Soviet Union,
of ‘his: financial difficulties an
: —G00L275°

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a Top Secret oo Copy 10

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(Summary of Case)

the two items ot’ information. He said that the need for money
was his immediate motive for conrasting CIA, alchcugh in the
ensuing discussion he aiso expressed dissatisfaction with the
Communist regime in the Soviet Union.

NOSENKO met ClA‘ representatives four more times in Geneva
in June 1962. With the second meeting on il June, his earlier
expressed reservations disappeared almost entirely. He
answered most questions put to him on KGB organization and
operations. His knowledgeability was almost exciusively
Limited to the KGB Second Chief Directorate (xesponsible for
counterintelligence and security within che USSR); NOSENKO
seemed to be what he claimed to be: a KGB officer in a
sensitive position with knowledge of important KGB operations.

NOSENKO returned to Moscow on 15 June, having promised
to do everything within certain limits to collect information
on matters indicated to be of interest to CIA. The only
yestrictions he placed on his cooperation were his absolute
refusal to permit operational contact with him inside the
USSR and his request that no mention of his coilaboration be
communicated to the American Embassy in Moscow. He promised
tro notify CIA via an accommodation address when he came to
the West again. ,;
NOSENKO again accompanied the Soviet delegation to the
Disarmament Conference in Geneva in January 1964. Since last
meeting with CIA he had been promoted to the rank of lieu-
tenant colonel and had become the Deputy Chief of the largest
department in the Second Chief Directorate. At the first
of the new series of meetings on 23 January he announced
that he had decided to defect to the United States. He |
cited as reasons his continuing dissatisfaction with the
Soviet regime and the fact. thac he. probably would have no
further opportunities to travel to the West in the foresee-
able future. Although he implied that he wanted to defect
as soon as possible, he agreed to remain in place in Geneva
while arrangements for his reception were being made in
Washington. NOSENKO had brought a large amount of new
information, much of it in scribbled notes, on KGB opera-
tional activity which he had collected in the 18 months |
since his last meeting with CIA.

+

6001276 TS No. 197124
Top Secret Copy

Tate Maa

